Tailored Shareholder Reports: Impact & Implementation

Recorded On: 05/10/2023

Join this webinar to gain a better understanding of the impact Tailored Shareholder Reports will have on your operations and resources. We’ll also review how you can efficiently and cost-effectively implement Tailored Shareholder Reports. 

Learning Objectives:

  • Impact on resources and timelines for composition, tagging, print, distribution, web hosting and filing
  • Operational implications for fund administration, audit and other service providers
  • Practical approaches to implementing a solution

For more details, requirements, and guidance on this topic, please contact regulatorysolutions@broadridge.com.


This program is sponsored by:

image


CPE INFORMATION:

Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

CPEs Earned: 1 

CPE Field of Study: Accounting - Technical

Program Level: Basic 

Delivery Method: Group-Internet Based

Advanced Preparation: None 

CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Jed Larsen at info@nicsa.org


Frank Maresca (Moderator)

Senior Advisor & Consultant

Broadridge

Financial Services and Investment Management Professional with over 40 years’ experience in U.S. registered investment companies, asset management and asset servicing industries.

Currently, Senior Advisor and Consultant to Broadridge. He previously served in the roles Vice President Mutual Fund Business Development and Product.He is a results driven funds management executive with deep industry experience, driving strategy and product innovation for solutions to the registered ’40 Act fund industry. 

Previously, at AST Fund Solutions, LLC from 2012 through 2017 as an Executive Vice President creating and heading the fund administration group, as well as overseeingbusiness development of all services provided to closed-end funds and business development companies. Prior to that, he had established and headed Ultimus FundSolutions, LLC’s New York office during the period March 2009 until February 2012; with responsibilities over their entire closed-end fund administration business.

Nearly 17 years as President and Chief Executive Officer of Bear Stearns Funds Management Inc. responsible for new business development, client services andrelationship management and held several senior level positions within Bear Stearns including Senior Managing Director and Treasurer of their mutual fund complex. 

Previous positions included senior fund finance positions and fund treasurer for fund complexes and closed-end funds. Mr. Maresca began his professional career in 1980 atPrice Waterhouse.

A graduate of Hofstra University with a B.B.A. degree in Public Accounting and is a CPA (inactive). Currently, serving on the Membership and Fund Administration Committee at Nicsa.Previously served both as a member of the Closed-end Fund Committee and Accounting and Treasurer Committees of the Investment Company Institute.

He current serves as an independent director and audit committee chair to two NYSE-listed closed-end funds and director to a large NY-Metro non-profit providing support to individuals and families at risk.

Amy M. Fothergill

Vice President, Asset Servicing Product Developer

State Street

Amy Fothergill is a Vice-President in State Street’s Asset Servicing Product division, focused on the Financial and Regulatory Reporting Product. For the last 6 years Amy has been responsible for development work of new and existing financial and regulatory reporting products for the Asset Manager and Asset Owners segments. 

Amy began her career here at State Street in Fund Administration in 2001 where she has spent most of her career. She focused on operations, conversions, and new business for both Financial Reporting, Compliance and Treasury Services within Fund Administration. 

Amy received a Bachelor of Science in Accounting from Bentley University.

Ed Hrybenko

Vice President - Product Management

Broadridge

Ed Hrybenko is a Vice President of Product Management, focusing on Regulatory and Marketing Communication Solutions at Broadridge. Ed focuses on product strategy for Broadridge solutions with an emphasis on asset managers and other financial services firms.  Prior to joining Broadridge, Ed spent over 25 years in the asset management industry, most recently as Head of Marketing Operations for OppenheimerFunds. He has extensive experience in technology and product solutions supporting regulatory, marketing and service communications functions.  Ed is a graduate of Cornell University, where he received a BA in Government.

Alexis Cunningham

Partner

PwC

Key:

Complete
Failed
Available
Locked
Webinar
Recorded 05/10/2023  |  60 minutes
Recorded 05/10/2023  |  60 minutes
Survey
11 Questions
11 Questions Post webinar survey